Our Staff has compiled our research into a database of FINRA Broker Disclosures for NYLife Securities LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Brent Harry Petersen | 5771488 | 2 | 08/15/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Michael Ryan | 5969703 | 1 | 05/06/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Rick Kent Stivers | 1927140 | 2 | 03/24/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert J Cinnante | 5532651 | 5 | 02/02/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Walton Worth Rogers | 1228957 | 1 | 09/16/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph M Garrel | 5720656 | 1 | 09/09/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Andrew Moro | 1235680 | 1 | 09/09/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alexa Sider Pao | 5675301 | 1 | 07/02/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Loann Christine Thompson | 3079752 | 2 | 10/21/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brett Mitchell Sause | 3275164 | 3 | 04/16/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |